A federal agency violates the Whistleblower Protection Act if it takes or fails to take (or threatens to take or fail to take) a personnel action with respect to any employee or applicant because of any disclosure of information by the employee or applicant that he or she reasonably believes evidences a violation of a law, rule or regulation; gross mismanagement; gross waste of funds; an abuse of authority; or a substantial and specific danger to public health or safety.

The U.S. Office of Special Counsel (OSC) has jurisdiction over allegations of whistleblower retaliation made by employees of the SEC.

The Office of Inspector General (OIG) of the Securities and Exchange Commission will also investigate allegations of retaliation against SEC employees for cooperating with the OIG or for other protected activities. For information on how to report reprisal to the OIG, see http://www.sec-oig.gov/.

The Whistleblower Protection Enhancement Act of 2012 protects federal employees who disclose evidence of waste, fraud, or abuse. Under the Act, the statement below, upon this or other notice, is incorporated into the SEC’s nondisclosure policies, forms, or agreements in effect before the Act’s effective date of December 27, 2012:

These provisions are consistent with and do not supersede, conflict with, or otherwise alter the employee obligations, rights, or liabilities created by existing statute or Executive order relating to (1) classified information, (2) communications to Congress, (3) the reporting to an Inspector General of a violation of any law, rule, or regulation, or mismanagement, a gross waste of funds, an abuse of authority, or a substantial and specific danger to public health or safety, or (4) any other whistleblower protection. The definitions, requirements, obligations, rights, sanctions, and liabilities created by controlling Executive orders and statutory provisions are incorporated into this agreement and are controlling.

The controlling Executive Orders and statutory provisions referenced in the statement include the following, as of January 15, 2014:

Executive Order No.13526 (75 Fed. Reg. 707) (prescribing a uniform system for classifying, safeguarding, and declassifying national-security information), or any successor thereto;

Section 7211 of title 5, United States Code (governing disclosures to Congress);

Section 1034 of title 10, United States Code, as amended by the Military Whistleblower Protection Act (governing disclosure to Congress by members of the military);

Section 2302(b)(8) of title 5, United States Code, as amended by the Whistleblower Protection Act of 1989 (governing disclosures of illegality, waste, fraud, abuse or public health or safety threats);

Sections 7(c) and 8H of the Inspector General Act of 1978 (5 U.S.C. App.) (relating to disclosures to an inspector general, the inspectors general of the Intelligence Community, and Congress);

Section 103H(g)(3) of the National Security Act of 1947 (50 U.S.C. 403–3h(g)(3)) (relating to disclosures to the inspector general of the Intelligence Community);

Sections 17(d)(5) and 17(e)(3) of the Central Intelligence Agency Act of 1949 (50 U.S.C. 403q(d)(5) and 403q(e)(3)) (relating to disclosures to the Inspector General of the Central Intelligence Agency and Congress); and

Statutes which protect against disclosure that may compromise the national security, including sections 641, 793, 794, 798, and 952 of title 18, United States Code, and section 4(b) of the Subversive Activities Control Act of 1950 (50 U.S.C. 783(b)).

The foregoing statement is also provided in accordance with the requirements under section 715 of the Consolidated Appropriations Act, 2012 (Pub. L. 112–74, December 23, 2011, as extended by subsequent acts).